Carl D. Palmer
Professional summary
Carl Douglas Palmer, who also goes by Carl D Palmer, Carl Douglas Palmer, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Houston, Texas.
Carl is registered as a RR (Registered Representative) and started their career in finance in 2013. Carl has worked at 3 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carl Douglas Palmer's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2025 - Present
PNC CAPITAL MARKETS LLC
Office #1: 609 Main Street Suite 2700, Houston, TX 77002December 17, 2014 - January 3, 2018
J.P. MORGAN SECURITIES LLC
August 5, 2013 - November 19, 2014
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/2/2025)
Exams
Series 52TO
Date: 9/11/2025
Municipal Securities Representative ExaminationFINRA
Current Firm
PNC CAPITAL MARKETS LLC
CRD#: 15647 / SEC#: , 8-32493
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC HOLDING, LLC. | PARENT | |
| BEGLEY, TERENCE PATRICK | BOARD MEMBER | 4718949 |
| BERNIER, JAMES STEVENS | CHIEF EXECUTIVE OFFICER | 2849222 |
| CESARIO, CONNIE KOZLOFF | BOARD MEMBER | 4251140 |
| DERESPIRIS, BRIAN G | PRESIDENT, COO | 5399266 |
| MCNELIS, BRIAN PATRICK | BOARD MEMBER | 4886370 |
| MILLER, JOHN R | TREASURER AND FINOP | 6933635 |
| MILLER, JOHN R | PRINCIPAL FINANCIAL OFFICER | 6933635 |
| PULLINS, MATTHEW MICHAEL | CHIEF FINANCIAL OFFICER | 4366952 |
| PUMPHREY, MARY PATRICIA | CHIEF COMPLIANCE OFFICER | 2513345 |
| PUMPHREY, MARY PATRICIA | CHIEF RISK OFFICER | 2513345 |
| THOMAS, MICHAEL | CHAIRMAN | 2992653 |
| TOBUN, ABI | BOARD MEMBER | 4878954 |
| WILLIAMS, TROY MATTHEW | PRINCIPAL OPERATIONS OFFICER | 7763919 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
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Company Information
PNC CAPITAL MARKETS LLC
CRD#: 15647Houston, TX 77002TRUST BUT VERIFY
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